DOUGLAS ANTHONY LEONE

04/23/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DOUGLAS A. LEONE (CRD No. 2453784), Respondent. Disciplinary Proceeding No. 2016052560002 Hearing Officer-MJD DEFAULT DECISION April 23, 2018 Respondent is barred from associating with any FINRA member firm in any capacity for failing to attend an on-the-record interview during an investigation, in violation of FINRA Rules 8210 and 2010.

01/09/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Douglas A. Leone (CRD No. 2453784), Respondent. DISCIPLINARY PROCEEDING NO. 2016052560002 COMPLAINT The Department of Enforcement (“Enforcement”) alleges: SUMMARY 1. In February 2017, FINRA opened an investigation into Respondent’s trading activity while he was associated with SW Financial regarding potentially unsuitable and excessive transactions in customers’ accounts. As part of

Reference 2016052560002data-portal.finra.orgdata-portal.finra.orgfinra.org

05/23/2018: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Newport Coast Securities, Inc. New York, NY, Douglas A. Leone Sandy Hook, CT, and Andre V. La Barbera Dix Hills, NY, Respondents. DECISION Complaint No. 2012030564701 Dated May 23, 2018 Firm and registered representatives excessively traded and churned the accounts of customers; firm and registered representative made unsuitable recommendations;

10/17/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. NEWPORT COAST SECURITIES, INC. (CRD No. 16944), DOUGLAS A. LEONE (CRD No. 2453784), and ANDRE V. LABARBERA (CRD No. 2072370), Respondents. Disciplinary Proceeding No. 2012030564701 Hearing Officer-DMF EXTENDED HEARING PANEL DECISION October 17, 2016 Summary (1) Respondents Leone and LaBarbera, and Respondent Newport Coast Securities, Inc., through Leone, LaBarbera and three other

07/28/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Newport Coast Securities, Inc., CRD No. 16944; Douglas A. Leone, CRD No. 2453784; Marc A. Arena, CRD No. 2754309; Roman Tyler Luckey, CRD No. 2977054; Andre V. LaBarbera, CRD No. 2072370; David M. Levy, CRD No. 2255938; Antonio Costanzo, CRD No. 2580765; and Donald A. Bartelt, CRD No. 1377935 Respondents. DISCIPLINARY PROCEEDING No. 2012030564701 COMPLAINT The Department of Enforcement

Reference 2012030564701data-portal.finra.orgdata-portal.finra.orgfinra.orgdata-portal.finra.org